USPTO Patents Application 09870801

II-/'-* V

Application No.: 09/870,801
i November 8, 2004

, . PATENT
Customer No. 22,852
Attorney Docket No. 7451 .0001-18
Intertrust Ref. No. IT-5.2.1.1 US

ibi ft

CERTIFICATE OF EXPRESS MAILING
y certify that this correspondence is being deposited with the United States Postal Service's "Express Mail Post Office to
ssee" service under 37 CFR § 1 .10, in an envelope addressed to: Commissioner for Patents, P.O. Box 1450,
ixandria, V>V22313-1450 on November 8, 2004. Express Mail Label No.: EV 606104376 US

Signed: .

Mary A. McCaul^y^ y

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE

In re Application of:
Karl L GINTERetal.
Application No.: 09/870,801
Filed: June 1, 2001

For: SYSTEMS AND METHODS FOR
SECURE TRANSACTION
MANAGEMENT AND
ELECTRONIC RIGHTS
PROTECTION

Commissioner for Patents

P.O. Box 1450

Alexandria, VA 22313-1450

Sir:

Group Art Unit: 2132
Examiner: DARROW, Justin T.
Confirmation No.: 9392

REC£/VH)

Technology Center 2100

INFORMATION DISCLOSURE STATEMENT UNDER 37 C.F.R. § 1.97(c)

Pursuant to 37 C.F.R. §§ 1 .56 and 1 .97(c), Applicants bring to the attention of the
Examiner the documents on the attached listing. To the best of our knowledge, this
Information Disclosure Statement is being filed after the events recited in
Section 1 .97(b) but, to the undersigned's knowledge, before the mailing date of either a
Final action, Quayle action, or a Notice of Allowance. Under the provisions of 37 C.F.R.
§ 1.97(c), this Information Disclosure Statement is accompanied by a fee of $180.00 as
specified by Section 1.1 7(p).

11/12/2004 (IBLflNCO 00000004 060916 09870S01
01 FC:1806 180.00 Dfl

As a result of the Microsoft litigation, summaries of reference titles and copies of
some of those references were provided to Applicants (See Tab 2, Exhibit A of the Final
Notice Regarding Related Litigation originally submitted to the Office on March 26,
2004, pertaining to InterTrust Technology Corp. v. Microsoft Corp., C 01-1640 SBA, N.
D. Ca). The references listed on the attached form PTO-1449 represent all available
references, not yet submitted in this case, of which Applicants are aware. The listed
references are provided in electronic format via one (1) CD-ROM attached hereto.

Applicants respectfully request that the Examiner consider the listed documents
and indicate that they were considered by making appropriate notations on the attached
form.

This submission does not represent that a search has been made or that no
better art exists and does not constitute an admission that each or all of the listed
documents are material or constitute "prior art." If the Examiner applies any of the
documents as prior art against any claims in the application and Applicants determine
that the cited documents do not constitute "prior art" under United States law,
Applicants reserve the right to present to the office the relevant facts and law regarding
the appropriate status of such documents.

Applicants further reserve the right to take appropriate action to establish the
patentability of the disclosed invention over the listed documents, should one or more of
the documents be applied against the claims of the present application.

If there is any fee due in connection with the filing of this Statement, please
charge the fee to our Deposit Account No. 06-0916.

Finnegan, Henderson, Farabow,

Garrett & Dunner, L.L.P.
1300 I Street NW
Washington, D.C. 20005
(202) 408-4000

Respectfully submitted,

FINNEGAN, HENDERSON, FARABOW,
GARRETT & DUNNER, L.L.P.

Dated: November 8, 2004

Andrew©. Schwaab
Reg. No. 38,61 1

INFORMATION DISCLOSURE CITATION
(Use several sheets if necessary)

OMB No. 0651-0011

Atty. Docket No.: 07451.0001-18000

Application No.: 09/870,801

Applicant: Karl L. Ginter, et al.

Filing Date: June 1, 2001

Group: 2132

U.S. PATENT DOCUMENTS

Examiner Initial*

Document
Number

Date

Name

Class

Sub
Class

Filing Date
If Appropriate

4,748,561

5/31/1988

Brown

4,757,914

7/19/1988

Roth et al.

f

5,517,518

5/14/1996

Morson et al.

K7ED

5,745,678

4/28/1998

Herzberg et al.

NOV l (

; 2004

5,819,263

10/6/1998

Bromley et al.

— Iecf

5,842,173

11/24/1998

Strum et al.

nofogyCt

inter 2100

FOREIGN PATENT DOCUMENTS

Examiner Initial*

Document
Number

Date

Country

Class

Sub
Class

Translation
Yes or No

AU-A-368 15/97

2/19/1998

Australia

AU-A-368 16/97

2/19/1998

Australia

AU-A-36840/97

2/19/1998

Australia

EP 0 913 757 A2

5/6/1999

EPO

WO 97/43761

11/20/1997

PCT

WO 97/48203

12/18/1997

PCT

WO 98/09209

3/5/1998

PCT

WO 98/10381

3/12/1998

PCT

WO 98/37481

8/27/1998

PCT

WO 98/45768

10/15/1998

PCT

WO 99/01815

1/20/1999

PCT

Examiner

Date Considered:

'Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line through
citation if not in conformance and not considered. Include copy of this form with next communication to applicant.

Form PTO 1449

Patent and Trademark Office - U.S. Department of Commerce

Page 1 of 4

OMB No. 0651-0011

INFORMATION DISCLOSURE CITATION
(Use several sheets if necessary)

Atty. Docket No.: 07451.0001-18000

Application No.: 09/870,801

Applicant: Karl L. Ginter, et al.

Filing Date: June 1 , 2001

Group: 2132

"tUfclVED

Nov i b ?m

foreign patent documents Technology Center ?mn

Examiner Initial*

Document
Number

Date

Country

Class

Sub
Class

Translation
Yes or No

WO 99/24928

5/23/1999

PCT

WO 99/48296

9/23/1999

PCT

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.)

Berkovitz, S. et al., "Authentication of Mobile Agents," Mobile Agents and Security, Springer-Verlag,
Giovanni Vigna, Ed., 1998, pp. 114-136.

Champine, G., MIT Project Athena: A Model for Distributed Campus Computing, Digital Equipment
Corporation, 1991, 22 introductory pages, Chapter 1 (pp. 3-18); Chapter 2 (pp. 19-33); Chapter 3, (pp.
37-68); Chapter 4 (pp. 69-75); Chapter 5 (pp. 79-107); C

Chase, Chevy, M.D., "DiscStore", Electronic Publishing Resources, 1991.

Constructing a High Assurance Mail Guard, Secure Computing, 1994, pp. 1-10.

Electronic Currency Requirements, XIWT (Cross Industry Working Group), (undated), 16 pages.

Ellison, C. et al., "SPKI Certificate Theory," Internet Engineering Task Force (IETF) RFC 2693, Sept.
1999, 38 pages, available at http://www.ietf. org/rfc/rfc26939.txt?number=2693

Federal Criteria for Information Technology Security," Vol. II, Version 1.0, National Institute of
Standards and Technology and National Security Agency, December 1992, 270 pages.

Financial Transaction Card Originated Messages - Interchange Message Specifications - Part 2:
Application and registration Procedures for Institution Identification Codes (IIC), ISO 8583-2, Jul. 1,
1998.

Financial Transaction Card Originated Messages - Interchange Message Specifications - Part 3:
Maintenance Procedures for Codes, ISO 8583-3, Jul. 1, 1998.

Hohl, F., "Time Limited Blackbox Security: Protecting Mobile Agents from Malicious Hosts," Lecture
Notes in Computer Science, Vol. 1419: Mobile Agents and Security, Springer-Verlag, 1998, G. Vigna
Ed., pp. 90-111.

International Standard IS08583, "Bank Card Originated Messages - Interchange Message
Specifications - Content for Financial Transactions," International Organization for Standardization,
August 15, 1987, pp. 1-33.

Introduction to Smart Cards v. 1 .0", Gemplus Card Internatioal, March 21 , 1991 .

Examiner

Date Considered:

'Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line through
citation if not in conformance and not considered. Include copy of this form with next communication to applicant.

Form PTO 1449

Patent and Trademark Office - U.S. Department of Commerce

Page 2 of 4

' • 1 w v x

/ \ :

OMB No. 0651-0011

L MOV 0 8 2004 J

INFORMATION DISCLOSURE CITATION
(Use several sheets if necessary)

Atty. Docket No.: 07451.0001-18000

Application No.: 09/870,801

Applicant: Karl L. Ginter, et al.

HhCElvED

Filing Date: June 1, 2001

Group: 2132

NOV 1 6 2004

Technology Centm 2100 —

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.)

•

iOpener, Registered Trademark of National Semiconductor Corporation, Registration date October 4,
1994, 1 page.

Key Management (retail) - Part I: Introduction to Key Management; Part II: Key Management
Techniques for Symmetric Ciphers, ISO 11568-1 and -2, Dec. 1, 1994.

Krajewski, Jr., M. ( "Applicability of Smart Cards to Network User Authentication," Computing Systems,
vol. 7, no. 1 , Winter 1 994, pp. 75-89.

Lehman, B., "Intellectual Property and the National Information Infrastructure, A Preliminary Draft of
the Report of the Working Group on Intellectual Property Rights," July 1994, 4 introductory pages and
pp. 1-141.

Microsoft Authenticode Technology, Microsoft Corporation, Oct. 1996.

Open Systems Interconnection: Security Architecture, ISO 7498/1, 1988.

Open Systems Interconnection: Security Architecture, ISO 7498/2, 1988.

Personal Identification Number (PIN) management and security - Part I: Basic Principles and
Requirements for online PIN Handling in ATM and POS Systems; & -2 Approved Algorithm(s) for PIN
bncipnerment, lou yoo4-i & -z, (Apr. 10, zuu^; & uec. io, iyyi

PowerAgent Introduces First Internet 'Infomediary' to Empower and Protect Consumers,
Techmall.com, Aug 4, 1997.

Rozenblit, Moshe, "Secure Software Distribution", IEEE 0-7803-1811-0/94, 1994.

Rubin, A.D., "Trusted Distribution of Software Over the Internet," Bellcore, 1995, pp. 1-9.

Sander, T. et al., "Protecting Mobile Agents Against Malicious Hosts," Mobile Agents and Security:
Lecture Notes in Computer Science, Springer-Verlag, G. Vigna, Ed., Vol. 1419, Nov. 11, 1997, 16
pages.

Sander, T. et al., "Towards Mobile Cryptography," IEEE Proceedings of Security and Privacy, May
1998, 10 pages.

Secure Cryptographic Devices (retail) - Part I: Concepts, Requirements and Evaluation Methods, ISO
13491-1, Jun. 15, 1998.

Specification for Financial Message Exchange Between Card Acceptor and Acquirer, X9.15,
American National Standard, American Banker's Association, 1990.

Tanenbaum, A.S., et al., "The Amoeba Distributed Operating System," 1990.

Tanenbaum, A.S., et al., "The Amoeba Distributed Operating System-A Status Report," 1991.

The Risks Digest, "Forum on Risks to the Public in Computers and Related Systems," Vol. 15; Issue
47, February 9, 1994, pp. 1-12.

Examiner

Date Considered:

*Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line through
citation if not in conformance and not considered. Include copy of this form with next communication to applicant.

Form PTO 1449

Patent and Trademark Office - U.S. Department of Commerce

Page 3 of 4

OMB No. 0651-0011

INFORMATION DISCLOSURE CITATION
(Use several sheets if necessary)

Atty. Docket No.: 07451.0001-18000

Application No.: 09/870,801

Applicant: Karl L. Ginter, et al.

Filing Date: June 1, 2001

Group: 2132

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.)

Transformer Rules Strategy for Software Distribution Mechanism-Support Products, IBM Technical
Disclosure Bulletin, Vol. 37, No. 48, Apr. 1994, pp. 523-25.

Technoh

'^Center

2100

Examiner

Date Considered:

*Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line through
citation if not in conformance and not considered. Include copy of this form with next communication to applicant.

Form PTO 1449

Patent and Trademark Office - U.S. Department of Commerce

Page 4 of 4